Job Description

Overview

We are seeking a highly skilled and experienced Senior Compliance Officer to join our team. This pivotal role involves overseeing compliance management and ensuring adherence to regulatory requirements within the organization. The ideal candidate will possess a strong background in technical accounting, internal audits, and fraud prevention detection, with a focus on maintaining the integrity of our financial operations. This position is essential for safeguarding our organization against compliance risks and fostering a culture of accountability.

Responsibilities:

• Develop, implement, and maintain compliance programs that align with regulatory requirements including TILA and SOX.
• Conduct regular internal audits to assess compliance with established policies and procedures.
• Monitor financial software systems for compliance issues and ensure accurate reporting.
• Collaborate with corporate accounting teams to ensure adherence to accounting standards and practices.
• Identify potential areas of risk related to fraud prevention detection and recommend corrective actions.
• Prepare detailed reports on compliance findings and present them to senior management.
• Stay updated on changes in regulations affecting the organization and communicate these changes effectively.
• Provide training and guidance to staff on compliance-related matters.

Follow other SEC rules, such as:

• The Best Interest (Reg BI) Amendment, which requires broker-dealers to record interactions with retail customers.
• Marketing rules, which require financial firms to keep records of advertisements and promotions for at least five years.
• Rule 204-2(a)(7), which requires registered persons to keep records of communications related to recommendations, funds, and securities
• Store records in a non-alterable format, such as WORM (write once, read many).

Qualifications:

• Bachelor's degree in Accounting, Finance, or a related field; advanced degree or certification (CPA, CIA) is preferred.
• Proven experience in compliance management, corporate accounting, or public accounting roles.
• Strong knowledge of technical accounting principles and financial regulations.
• Familiarity with internal audit processes and fraud prevention detection strategies.
• Excellent analytical skills with attention to detail.
• Strong communication skills, both verbal and written, with the ability to present complex information clearly.
• Ability to work independently as well as collaboratively within a team environment.

Join us in this critical role where your expertise will contribute significantly to our organization's success in maintaining compliance and integrity in all financial matters.

Location:

• 73 Spring St, New York, NY 10012
• In office (M-F)

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